Benjamin L. Palleiko
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Benjamin Lawrence Palleiko, who also goes by Ben Palleiko, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1999. Benjamin had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2015 - September 8, 2016
H.C.WAINWRIGHT & CO., LLC
April 22, 2003 - March 29, 2006
TRUIST SECURITIES, INC.
March 28, 2000 - July 30, 2002
ROBERTSON STEPHENS, INC.
January 17, 2000 - March 22, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 8, 1999 - January 17, 2000
VOLPE BROWN WHELAN & COMPANY, LLC
February 17, 1999 - April 15, 1999
ADVEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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